As a Senior Compliance & Risk Analyst you will be responsible for helping to ensure that Nutmeg has an effective compliance and risk management approach with a robust advice to the business, monitoring, challenge and assurance.
Using strong relationship and technical skills, you will work within a small team to continue Nutmeg’s approach to meet the demands of a developing and dynamic business.
Reporting to the Head of Compliance, you will be key to the execution of the compliance and risk management processes and support the design & execution of the Compliance Monitoring Programme.
You will partner with the business to achieve the compliance goals, and will feel part of the running of an exciting business, while maintaining the necessary independence to provide effective and insightful challenge.
What you’ll need to do:
- Maintain an effective second line compliance and risk monitoring programme with the inputs, the evaluations, reporting and alerts to ensure effectiveness and practical relevance
- Provide challenge and advice management on compliance and risk management matters including, but not confined to, financial promotions, product design and development, data protection, treating customers fairly (including suitability & complaints), conduct and operational risk.
- Provide relevant compliance and risk reporting and management information, consistent with the Nutmeg’s governance to the Executive team and Compliance and Risk Committee.
- Assist the process of establishing and maintaining Nutmeg’s Risk management framework and assist the CRCO in reporting to the Board on Nutmeg’s performance against the firm’s Risk Appetite.
- Help design, monitor and oversee an effective anti-money laundering and financial crime framework, including policy maintenance, training, monitoring and reporting
- Assist in the generation of accurate data to enable the CRCO to report to the executive team and Board on key risks, issues and actions taken, ensuring that concerns and recommendations are clearly and concisely articulated so that appropriate action can be taken as necessary
- Assist in the implementation of an appropriate compliance training programme.
- Monitor regulatory developments to ensure that change initiatives are addressed by stated deadlines
What we are looking for:
The successful candidate must be a post-entry level Compliance Professional within an FCA regulated environment. Experience of working with internal stakeholders at all levels, and the ability to challenge robustly and take an objective view combined with strong practical knowledge of applying compliance and risk management is essential to this role.
We’re looking for someone with a dynamic mindset and strong organisational skills. You will have had experience in balancing the collaboration required to work with a business to develop its compliance vision and strategy, with the ability to inspire confidence and challenge independently and thoughtfully.
We’re a diverse team of fun, genuine, smart people with a common mission to shake up financial
services and change the way people manage their money in an intelligent easy way.
A fintech leader located in Vauxhall, London, we work in a modern, open plan office. We use cutting
edge technologies and development tools like Mesos and Docker. We brainstorm and work with
whiteboards and post-its and collaborate across the entire business to do our jobs – awesomely.
We’d say we’re similar to a typical tech company: casual, flexible, agile, flat-structured and fastpaced.
All while making sure we maintain professional (FCA-regulated) standards in everything we
We’re passionate and motivated and take pride in providing a great experience for our customers
and empowering generations of investors. We want like-minded people to join us. As a Nutmegger,
you’ll be part of a tightknit, hard-working, innovative team at the top of their game, facing new
challenges every day.